Federal Register Recent Federal Regulation Documents - Justia Regulation Tracker - Justia Regulations Tracker https://regulations.justia.com/regulations/fedreg/agencies/securities-and-exchange-commission/2006/07?limit=200&registers=between&min-day=1&max-day=31&mode=atom 2020-09-23T03:31:34-07:00 Justia Inc https://www.justia.com/ Justia Regulations Tracker https://regulations.justia.com/images/justiafedregulations.gif Copyright 2011 Justia Inc https://regulations.justia.com/regulations/fedreg/2006/07/31/E6-12184.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Relating to the Exchange's Order Priority Rule and the Mandatory Use of Order Match Functionalities 2006-07-31T00:00:00-07:00 2006-07-31T00:00:00-07:00 E6-12184 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-31/pdf/E6-12184.pdf https://regulations.justia.com/regulations/fedreg/2006/07/31/E6-12183.html Notice - Self-Regulatory Organizations; New York Stock Exchange, Inc. (n/k/a New York Stock Exchange LLC); Order Approving Proposed Rule Change and Amendment No. 1 Thereto to Rules 104 (“Dealings by Specialists”) and 123E (“Specialist Combination Review Policy”) To Change the Exchange's Capital Requirements for Specialist Organizations 2006-07-31T00:00:00-07:00 2006-07-31T00:00:00-07:00 E6-12183 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-31/pdf/E6-12183.pdf https://regulations.justia.com/regulations/fedreg/2006/07/31/E6-12176.html Notice - Self-Regulatory Organizations: National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NASD Rule 5100 (Short Sale Rule) 2006-07-31T00:00:00-07:00 2006-07-31T00:00:00-07:00 E6-12176 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-31/pdf/E6-12176.pdf https://regulations.justia.com/regulations/fedreg/2006/07/31/E6-12175.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change and Amendment No. 1 Thereto Relating to the Relocation of Registered Options Traders Assigned Options Classes 2006-07-31T00:00:00-07:00 2006-07-31T00:00:00-07:00 E6-12175 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-31/pdf/E6-12175.pdf https://regulations.justia.com/regulations/fedreg/2006/07/31/E6-12155.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to Strike Price Intervals for VIX Options 2006-07-31T00:00:00-07:00 2006-07-31T00:00:00-07:00 E6-12155 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-31/pdf/E6-12155.pdf https://regulations.justia.com/regulations/fedreg/2006/07/31/E6-12151.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Granting Approval to a Proposed Rule Change and Amendment Nos. 1, 2 and 3 Thereto Relating to the Transfer of Securities Among Co.-Specialists Within a Specialist Firm 2006-07-31T00:00:00-07:00 2006-07-31T00:00:00-07:00 E6-12151 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-31/pdf/E6-12151.pdf https://regulations.justia.com/regulations/fedreg/2006/07/31/E6-12149.html Notice - Self-Regulatory Organizations; National Stock Exchange; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a New Chapter XVI of the NSX Rules Relating to Dues, Fees, Assessments, Charges, and Market Data Rebate Programs 2006-07-31T00:00:00-07:00 2006-07-31T00:00:00-07:00 E6-12149 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-31/pdf/E6-12149.pdf https://regulations.justia.com/regulations/fedreg/2006/07/31/E6-12148.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Trading of the Index-Linked Securities of Barclays Bank PLC Linked to the Performance of the Dow Jones-AIG Commodity Index Total Return Pursuant to Unlisted Trading Privileges 2006-07-31T00:00:00-07:00 2006-07-31T00:00:00-07:00 E6-12148 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-31/pdf/E6-12148.pdf https://regulations.justia.com/regulations/fedreg/2006/07/31/E6-12147.html Notice - Self-Regulatory Organizations; New York Stock Exchange, Inc. (n/k/a New York Stock Exchange LLC); Order Approving Proposed Rule Change to Require Specialists to Publish a 100 x 100 Share Market to Suspend Direct+ for Exchange Rule 127 Block Cross Transactions 2006-07-31T00:00:00-07:00 2006-07-31T00:00:00-07:00 E6-12147 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-31/pdf/E6-12147.pdf https://regulations.justia.com/regulations/fedreg/2006/07/28/E6-12070.html Notice - Self-Regulatory Organizations; The Depository Trust Company, Fixed Income Clearing Corporation, and National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Whereby the President of Each Clearing Agency Shall Also Serve as Its Chief Executive Officer 2006-07-28T00:00:00-07:00 2006-07-28T00:00:00-07:00 E6-12070 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-28/pdf/E6-12070.pdf https://regulations.justia.com/regulations/fedreg/2006/07/28/06-6573.html Notice - In the Matter of Andover Apparel Group, Inc., Applied Computer Technology, Inc., Country World Casinos, Inc., Digital Transmission Systems, Inc., EWRX Internet Systems, Inc., Go Online Networks Corp., Integrated Communication Networks, Inc., Keystone Energy Services, Inc., Microbest, Inc., Midway Airlines Corp., Mobilemedia Corp., Neometrix Technology Group, Inc., Photran Corp., Scottsdale Technologies, Inc., Sienna Broadcasting Corp., Triton Network Systems, Inc., and Western Pacific Airlines, Inc.; Order of Suspension of Trading 2006-07-28T00:00:00-07:00 2006-07-28T00:00:00-07:00 06-6573 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-28/pdf/06-6573.pdf https://regulations.justia.com/regulations/fedreg/2006/07/28/06-6571.html Notice - Sunshine Act Meeting 2006-07-28T00:00:00-07:00 2006-07-28T00:00:00-07:00 06-6571 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-28/pdf/06-6571.pdf https://regulations.justia.com/regulations/fedreg/2006/07/28/06-6570.html Notice - Sunshine Act Meeting 2006-07-28T00:00:00-07:00 2006-07-28T00:00:00-07:00 06-6570 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-28/pdf/06-6570.pdf https://regulations.justia.com/regulations/fedreg/2006/07/27/E6-12002.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Approval to Proposed Rule Change and Amendment No. 1 Thereto Relating To Reducing Staffing Requirements for Options Specialist Units 2006-07-27T00:00:00-07:00 2006-07-27T00:00:00-07:00 E6-12002 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-27/pdf/E6-12002.pdf https://regulations.justia.com/regulations/fedreg/2006/07/27/E6-11988.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Applying the Allocation Algorithm in Rule 935(a)(4)-ANTE to Supplemental Registered Options Traders 2006-07-27T00:00:00-07:00 2006-07-27T00:00:00-07:00 E6-11988 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-27/pdf/E6-11988.pdf https://regulations.justia.com/regulations/fedreg/2006/07/27/E6-11987.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change Regarding Market Maker Appointments 2006-07-27T00:00:00-07:00 2006-07-27T00:00:00-07:00 E6-11987 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-27/pdf/E6-11987.pdf https://regulations.justia.com/regulations/fedreg/2006/07/27/E6-11986.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Handling of Immediate or Cancel Orders in Options 2006-07-27T00:00:00-07:00 2006-07-27T00:00:00-07:00 E6-11986 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-27/pdf/E6-11986.pdf https://regulations.justia.com/regulations/fedreg/2006/07/27/E6-11985.html Notice - Self-Regulatory Organizations; New York Stock Exchange, Inc. (n/k/a New York Stock Exchange LLC); Order Granting Approval of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To List and Trade Index-Linked Notes of Barclays Bank PLC Linked to the Performance of the Goldman Sachs Crude Oil Total Return IndexTM 2006-07-27T00:00:00-07:00 2006-07-27T00:00:00-07:00 E6-11985 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-27/pdf/E6-11985.pdf https://regulations.justia.com/regulations/fedreg/2006/07/27/E6-11984.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Adopt New NASD Rule 5150 Relating to Trade-Throughs 2006-07-27T00:00:00-07:00 2006-07-27T00:00:00-07:00 E6-11984 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-27/pdf/E6-11984.pdf https://regulations.justia.com/regulations/fedreg/2006/07/27/E6-11983.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Regarding Market-Maker Appointments 2006-07-27T00:00:00-07:00 2006-07-27T00:00:00-07:00 E6-11983 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-27/pdf/E6-11983.pdf https://regulations.justia.com/regulations/fedreg/2006/07/27/E6-11982.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Regarding the Pricing Schedule for NASD Members Using the Nasdaq Market Center and Nasdaq's Brut and INET Facilities 2006-07-27T00:00:00-07:00 2006-07-27T00:00:00-07:00 E6-11982 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-27/pdf/E6-11982.pdf https://regulations.justia.com/regulations/fedreg/2006/07/27/E6-11981.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto Regarding Pricing for Non-Members Using the Nasdaq Market Center and Nasdaq's Brut and INET Facilities 2006-07-27T00:00:00-07:00 2006-07-27T00:00:00-07:00 E6-11981 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-27/pdf/E6-11981.pdf https://regulations.justia.com/regulations/fedreg/2006/07/27/E6-11980.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Regarding Cancellation of the Stock Leg of a Stock-Option Order 2006-07-27T00:00:00-07:00 2006-07-27T00:00:00-07:00 E6-11980 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-27/pdf/E6-11980.pdf https://regulations.justia.com/regulations/fedreg/2006/07/27/E6-11978.html Notice - ING Life Insurance and Annuity Company, et al., Notice of Application 2006-07-27T00:00:00-07:00 2006-07-27T00:00:00-07:00 E6-11978 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-27/pdf/E6-11978.pdf https://regulations.justia.com/regulations/fedreg/2006/07/27/06-6536.html Notice - Sunshine Act Meeting; Notice 2006-07-27T00:00:00-07:00 2006-07-27T00:00:00-07:00 06-6536 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-27/pdf/06-6536.pdf https://regulations.justia.com/regulations/fedreg/2006/07/27/06-6535.html Notice - In the Matter of Solomon Alliance Group, Inc.; Order of Suspension of Trading 2006-07-27T00:00:00-07:00 2006-07-27T00:00:00-07:00 06-6535 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-27/pdf/06-6535.pdf https://regulations.justia.com/regulations/fedreg/2006/07/26/E6-11929.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Requiring Member Organizations to Remit a Branch Office System Processing Fee in Connection with the Registration of Branch Offices via the Uniform Branch Office Registration Form Through the National Association of Securities Dealers, Inc.'s Central Registration Depository System 2006-07-26T00:00:00-07:00 2006-07-26T00:00:00-07:00 E6-11929 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-26/pdf/E6-11929.pdf https://regulations.justia.com/regulations/fedreg/2006/07/26/E6-11927.html Notice - Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto to Amend Its Fee Schedule Contained in Exchange Rule 11.10(A) to Include a Quotation Fee 2006-07-26T00:00:00-07:00 2006-07-26T00:00:00-07:00 E6-11927 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-26/pdf/E6-11927.pdf https://regulations.justia.com/regulations/fedreg/2006/07/26/E6-11926.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Regarding a Disaster Recovery Facility 2006-07-26T00:00:00-07:00 2006-07-26T00:00:00-07:00 E6-11926 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-26/pdf/E6-11926.pdf https://regulations.justia.com/regulations/fedreg/2006/07/26/E6-11925.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change to Modify Nasdaq Data Feeds 2006-07-26T00:00:00-07:00 2006-07-26T00:00:00-07:00 E6-11925 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-26/pdf/E6-11925.pdf https://regulations.justia.com/regulations/fedreg/2006/07/26/E6-11897.html Notice - AXA Equitable Life Insurance Company, et al.; Notice of Application 2006-07-26T00:00:00-07:00 2006-07-26T00:00:00-07:00 E6-11897 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-26/pdf/E6-11897.pdf https://regulations.justia.com/regulations/fedreg/2006/07/25/E6-11797.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Permit the Listing and Trading of Quarterly Options Series 2006-07-25T00:00:00-07:00 2006-07-25T00:00:00-07:00 E6-11797 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-25/pdf/E6-11797.pdf https://regulations.justia.com/regulations/fedreg/2006/07/25/E6-11796.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Granting Approval of Proposed Rule Change as Amended by Amendment No. 1 Regarding Restrictions on Affiliations Between Nasdaq and Its Members 2006-07-25T00:00:00-07:00 2006-07-25T00:00:00-07:00 E6-11796 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-25/pdf/E6-11796.pdf https://regulations.justia.com/regulations/fedreg/2006/07/25/E6-11795.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change To Extend the Linkage Fee Pilot Program 2006-07-25T00:00:00-07:00 2006-07-25T00:00:00-07:00 E6-11795 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-25/pdf/E6-11795.pdf https://regulations.justia.com/regulations/fedreg/2006/07/25/E6-11794.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Duration of CBOE Rule 6.45A(b) Pertaining to Orders Represented in Open Outcry 2006-07-25T00:00:00-07:00 2006-07-25T00:00:00-07:00 E6-11794 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-25/pdf/E6-11794.pdf https://regulations.justia.com/regulations/fedreg/2006/07/25/E6-11793.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Granting Approval of Proposed Rule Change Regarding the Review Authority of the Board of Directors 2006-07-25T00:00:00-07:00 2006-07-25T00:00:00-07:00 E6-11793 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-25/pdf/E6-11793.pdf https://regulations.justia.com/regulations/fedreg/2006/07/25/E6-11792.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Its Short Stock Interest, Dividend, and Merger Strategy Programs 2006-07-25T00:00:00-07:00 2006-07-25T00:00:00-07:00 E6-11792 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-25/pdf/E6-11792.pdf https://regulations.justia.com/regulations/fedreg/2006/07/25/E6-11791.html Notice - Proposed Collection; Comment Request 2006-07-25T00:00:00-07:00 2006-07-25T00:00:00-07:00 E6-11791 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-25/pdf/E6-11791.pdf https://regulations.justia.com/regulations/fedreg/2006/07/25/E6-11790.html Notice - Proposed Collections; Comment Request 2006-07-25T00:00:00-07:00 2006-07-25T00:00:00-07:00 E6-11790 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-25/pdf/E6-11790.pdf https://regulations.justia.com/regulations/fedreg/2006/07/25/E6-11789.html Notice - Proposed Collection; Comment Request 2006-07-25T00:00:00-07:00 2006-07-25T00:00:00-07:00 E6-11789 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-25/pdf/E6-11789.pdf https://regulations.justia.com/regulations/fedreg/2006/07/25/E6-11788.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment No. 1 Thereto To Add Generic Listing Standards for Index-Linked Securities 2006-07-25T00:00:00-07:00 2006-07-25T00:00:00-07:00 E6-11788 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-25/pdf/E6-11788.pdf https://regulations.justia.com/regulations/fedreg/2006/07/24/Z6-10762.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval To a Proposed Rule Change and Amendment No. 1 Thereto Relating to a Retroactive Suspension of Transaction Charges for Specialist Orders in the Nasdaq-100 Tracking Stock[reg] (QQQQ) 2006-07-24T00:00:00-07:00 2006-07-24T00:00:00-07:00 Z6-10762 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-24/pdf/Z6-10762.pdf https://regulations.justia.com/regulations/fedreg/2006/07/24/E6-11682.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Listing Standards for Broad-Based Index Options 2006-07-24T00:00:00-07:00 2006-07-24T00:00:00-07:00 E6-11682 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-24/pdf/E6-11682.pdf https://regulations.justia.com/regulations/fedreg/2006/07/24/E6-11681.html Notice - Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Enhancements to ACATS-Fund/SERV Processing Capabilities 2006-07-24T00:00:00-07:00 2006-07-24T00:00:00-07:00 E6-11681 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-24/pdf/E6-11681.pdf https://regulations.justia.com/regulations/fedreg/2006/07/24/E6-11680.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Removing References to Outdated EPN Reports 2006-07-24T00:00:00-07:00 2006-07-24T00:00:00-07:00 E6-11680 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-24/pdf/E6-11680.pdf https://regulations.justia.com/regulations/fedreg/2006/07/24/C6-5679.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Concerning Priority in Trades Involving Synthetic Option Orders 2006-07-24T00:00:00-07:00 2006-07-24T00:00:00-07:00 C6-5679 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-24/pdf/C6-5679.pdf https://regulations.justia.com/regulations/fedreg/2006/07/24/06-6410.html Rule - Commission Guidance Regarding Client Commission Practices Under Section 28(e) of the Securities Exchange Act of 1934 2006-07-24T00:00:00-07:00 2006-07-24T00:00:00-07:00 06-6410 Rule http://www.gpo.gov/fdsys/pkg/FR-2006-07-24/pdf/06-6410.pdf https://regulations.justia.com/regulations/fedreg/2006/07/24/06-6409.html Rule - Amendments to the Informal and Other Procedures; Public Company Accounting Oversight Board Budget Approval Process 2006-07-24T00:00:00-07:00 2006-07-24T00:00:00-07:00 06-6409 Rule http://www.gpo.gov/fdsys/pkg/FR-2006-07-24/pdf/06-6409.pdf https://regulations.justia.com/regulations/fedreg/2006/07/21/E6-11581.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Exchange Rule 70 To Provide Floor Brokers With the Ability To Enter Discretionary Instructions and/or Pegging Instructions With Respect to Floor Broker Agency Interest Files (e-Quotes) 2006-07-21T00:00:00-07:00 2006-07-21T00:00:00-07:00 E6-11581 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-21/pdf/E6-11581.pdf https://regulations.justia.com/regulations/fedreg/2006/07/21/E6-11575.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Equity Transaction Fees and to Exempt Specialist Firms From ETF Transaction Fees 2006-07-21T00:00:00-07:00 2006-07-21T00:00:00-07:00 E6-11575 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-21/pdf/E6-11575.pdf https://regulations.justia.com/regulations/fedreg/2006/07/21/E6-11573.html Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a One-Year Pilot Extension Until July 18, 2007 for the Price Improvement Mechanism 2006-07-21T00:00:00-07:00 2006-07-21T00:00:00-07:00 E6-11573 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-21/pdf/E6-11573.pdf https://regulations.justia.com/regulations/fedreg/2006/07/21/E6-11572.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Two Pilot Programs Until July 18, 2007 Related to the Exchange's Automated Improvement Mechanism 2006-07-21T00:00:00-07:00 2006-07-21T00:00:00-07:00 E6-11572 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-21/pdf/E6-11572.pdf https://regulations.justia.com/regulations/fedreg/2006/07/21/E6-11571.html Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Granting Approval of Proposed Rule Change Relating to Automatic Execution of Non-Customer Orders 2006-07-21T00:00:00-07:00 2006-07-21T00:00:00-07:00 E6-11571 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-21/pdf/E6-11571.pdf https://regulations.justia.com/regulations/fedreg/2006/07/21/E6-11570.html Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Payment for Order Flow Fee Changes 2006-07-21T00:00:00-07:00 2006-07-21T00:00:00-07:00 E6-11570 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-21/pdf/E6-11570.pdf https://regulations.justia.com/regulations/fedreg/2006/07/21/E6-11569.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Extend the Moratorium on the Qualification and Registration of New Competitive Traders and New Registered Competitive Market Makers, Governed by NYSE Rules 110 and 107A, Respectively, for an Additional Six Months 2006-07-21T00:00:00-07:00 2006-07-21T00:00:00-07:00 E6-11569 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-21/pdf/E6-11569.pdf https://regulations.justia.com/regulations/fedreg/2006/07/21/E6-11568.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Its Marketing Fee Program 2006-07-21T00:00:00-07:00 2006-07-21T00:00:00-07:00 E6-11568 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-21/pdf/E6-11568.pdf https://regulations.justia.com/regulations/fedreg/2006/07/21/E6-11567.html Notice - Proposed Collection; Comment Request 2006-07-21T00:00:00-07:00 2006-07-21T00:00:00-07:00 E6-11567 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-21/pdf/E6-11567.pdf https://regulations.justia.com/regulations/fedreg/2006/07/21/06-6408.html Notice - Sunshine Act Meetings; Notice 2006-07-21T00:00:00-07:00 2006-07-21T00:00:00-07:00 06-6408 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-21/pdf/06-6408.pdf https://regulations.justia.com/regulations/fedreg/2006/07/21/06-6386.html Proposed Rule - Amendments to Regulation SHO 2006-07-21T00:00:00-07:00 2006-07-21T00:00:00-07:00 06-6386 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2006-07-21/pdf/06-6386.pdf https://regulations.justia.com/regulations/fedreg/2006/07/21/06-6357.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendments No. 1, 2, 3, 4, and 5 Thereto Relating to the New Amex Hybrid Market Structure 2006-07-21T00:00:00-07:00 2006-07-21T00:00:00-07:00 06-6357 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-21/pdf/06-6357.pdf https://regulations.justia.com/regulations/fedreg/2006/07/20/E6-11499.html Notice - Submission for OMB Review, Comment Request 2006-07-20T00:00:00-07:00 2006-07-20T00:00:00-07:00 E6-11499 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-20/pdf/E6-11499.pdf https://regulations.justia.com/regulations/fedreg/2006/07/20/E6-11498.html Notice - Submission for OMB Review; Comment Request 2006-07-20T00:00:00-07:00 2006-07-20T00:00:00-07:00 E6-11498 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-20/pdf/E6-11498.pdf https://regulations.justia.com/regulations/fedreg/2006/07/20/E6-11497.html Notice - Proposed Collection; Comment Request 2006-07-20T00:00:00-07:00 2006-07-20T00:00:00-07:00 E6-11497 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-20/pdf/E6-11497.pdf https://regulations.justia.com/regulations/fedreg/2006/07/20/E6-11496.html Notice - Proposed Collection; Comment Request 2006-07-20T00:00:00-07:00 2006-07-20T00:00:00-07:00 E6-11496 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-20/pdf/E6-11496.pdf https://regulations.justia.com/regulations/fedreg/2006/07/20/E6-11495.html Notice - Proposed Collections; Comment Request 2006-07-20T00:00:00-07:00 2006-07-20T00:00:00-07:00 E6-11495 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-20/pdf/E6-11495.pdf https://regulations.justia.com/regulations/fedreg/2006/07/20/E6-11494.html Notice - Proposed Collection; Comment Request 2006-07-20T00:00:00-07:00 2006-07-20T00:00:00-07:00 E6-11494 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-20/pdf/E6-11494.pdf https://regulations.justia.com/regulations/fedreg/2006/07/20/E6-11493.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change Relating to Schedule of Fees and Charges 2006-07-20T00:00:00-07:00 2006-07-20T00:00:00-07:00 E6-11493 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-20/pdf/E6-11493.pdf https://regulations.justia.com/regulations/fedreg/2006/07/20/E6-11492.html Notice - Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 53 Examination Program 2006-07-20T00:00:00-07:00 2006-07-20T00:00:00-07:00 E6-11492 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-20/pdf/E6-11492.pdf https://regulations.justia.com/regulations/fedreg/2006/07/20/E6-11491.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Relating to the Processing of Complex Orders in the Hybrid Trading System 2006-07-20T00:00:00-07:00 2006-07-20T00:00:00-07:00 E6-11491 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-20/pdf/E6-11491.pdf https://regulations.justia.com/regulations/fedreg/2006/07/20/E6-11489.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Listing and Trading of Quarterly Options Series 2006-07-20T00:00:00-07:00 2006-07-20T00:00:00-07:00 E6-11489 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-20/pdf/E6-11489.pdf https://regulations.justia.com/regulations/fedreg/2006/07/20/06-6366.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment Nos. 2 and 3 Thereto Relating to the Nasdaq Market Center 2006-07-20T00:00:00-07:00 2006-07-20T00:00:00-07:00 06-6366 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-20/pdf/06-6366.pdf https://regulations.justia.com/regulations/fedreg/2006/07/19/E6-11390.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a System Change to the Options Floor Broker Management System 2006-07-19T00:00:00-07:00 2006-07-19T00:00:00-07:00 E6-11390 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-19/pdf/E6-11390.pdf https://regulations.justia.com/regulations/fedreg/2006/07/19/E6-11388.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto To Modify Its Short Term Option Series Pilot Program To Permit the Listing of Up To Seven Series Per Class 2006-07-19T00:00:00-07:00 2006-07-19T00:00:00-07:00 E6-11388 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-19/pdf/E6-11388.pdf https://regulations.justia.com/regulations/fedreg/2006/07/19/06-6304.html Notice - In the Matter of Aurora Medical Technology, Inc.; Order of Suspension of Trading 2006-07-19T00:00:00-07:00 2006-07-19T00:00:00-07:00 06-6304 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-19/pdf/06-6304.pdf https://regulations.justia.com/regulations/fedreg/2006/07/18/E6-11327.html Notice - Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Granting Approval of Plan for Allocation of Regulatory Responsibilities Between The NASDAQ Stock Market LLC and the National Association of Securities Dealers, Inc. 2006-07-18T00:00:00-07:00 2006-07-18T00:00:00-07:00 E6-11327 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-18/pdf/E6-11327.pdf https://regulations.justia.com/regulations/fedreg/2006/07/18/E6-11326.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Short Term Option Series Pilot Program 2006-07-18T00:00:00-07:00 2006-07-18T00:00:00-07:00 E6-11326 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-18/pdf/E6-11326.pdf https://regulations.justia.com/regulations/fedreg/2006/07/18/E6-11325.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Amendments Nos. 1, 2 and 3 to Proposed Rule Change To Revise Rule 10322 of the NASD Code of Arbitration Procedure Which Pertains to Subpoenas and the Power To Direct Appearances 2006-07-18T00:00:00-07:00 2006-07-18T00:00:00-07:00 E6-11325 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-18/pdf/E6-11325.pdf https://regulations.justia.com/regulations/fedreg/2006/07/18/E6-11313.html Notice - Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the NYSE Arca, Inc. Amending Rules To Mandate Listed Companies Become Eligible To Participate in a Direct Registration System 2006-07-18T00:00:00-07:00 2006-07-18T00:00:00-07:00 E6-11313 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-18/pdf/E6-11313.pdf https://regulations.justia.com/regulations/fedreg/2006/07/18/E6-11312.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving a Proposed Rule Change to Rule 431 (“Margin Requirements”) and Rule 726 (“Delivery of Options Disclosure Document and Prospectus”) To Expand the Products Eligible for Customer Portfolio Margining and Cross-Margining Pilot Program 2006-07-18T00:00:00-07:00 2006-07-18T00:00:00-07:00 E6-11312 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-18/pdf/E6-11312.pdf https://regulations.justia.com/regulations/fedreg/2006/07/18/E6-11226.html Proposed Rule - Concept Release Concerning Management's Reports on Internal Control Over Financial Reporting 2006-07-18T00:00:00-07:00 2006-07-18T00:00:00-07:00 E6-11226 Proposed Rule http://www.gpo.gov/fdsys/pkg/FR-2006-07-18/pdf/E6-11226.pdf https://regulations.justia.com/regulations/fedreg/2006/07/18/06-6303.html Notice - Sunshine Act Meeting 2006-07-18T00:00:00-07:00 2006-07-18T00:00:00-07:00 06-6303 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-18/pdf/06-6303.pdf https://regulations.justia.com/regulations/fedreg/2006/07/17/E6-11232.html Notice - Proposed Collection; Comment Request 2006-07-17T00:00:00-07:00 2006-07-17T00:00:00-07:00 E6-11232 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-17/pdf/E6-11232.pdf https://regulations.justia.com/regulations/fedreg/2006/07/17/E6-11231.html Notice - Submission for OMB Review; Comment Request 2006-07-17T00:00:00-07:00 2006-07-17T00:00:00-07:00 E6-11231 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-17/pdf/E6-11231.pdf https://regulations.justia.com/regulations/fedreg/2006/07/17/E6-11230.html Notice - Submission for OMB Review; Comment Request 2006-07-17T00:00:00-07:00 2006-07-17T00:00:00-07:00 E6-11230 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-17/pdf/E6-11230.pdf https://regulations.justia.com/regulations/fedreg/2006/07/17/E6-11229.html Notice - Proposed Collection; Comment Request 2006-07-17T00:00:00-07:00 2006-07-17T00:00:00-07:00 E6-11229 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-17/pdf/E6-11229.pdf https://regulations.justia.com/regulations/fedreg/2006/07/17/E6-11228.html Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Complex Order Execution 2006-07-17T00:00:00-07:00 2006-07-17T00:00:00-07:00 E6-11228 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-17/pdf/E6-11228.pdf https://regulations.justia.com/regulations/fedreg/2006/07/17/E6-11227.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit the Listing and Trading of Quarterly Options Series 2006-07-17T00:00:00-07:00 2006-07-17T00:00:00-07:00 E6-11227 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-17/pdf/E6-11227.pdf https://regulations.justia.com/regulations/fedreg/2006/07/17/E6-11210.html Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to PrecISE Fees 2006-07-17T00:00:00-07:00 2006-07-17T00:00:00-07:00 E6-11210 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-17/pdf/E6-11210.pdf https://regulations.justia.com/regulations/fedreg/2006/07/17/E6-11209.html Notice - Self-Regulatory Organizations; The Depository Trust Company; Order Approving a Proposed Rule Change Relating to Compliance With Regulations Administered by the Office of Foreign Assets Control 2006-07-17T00:00:00-07:00 2006-07-17T00:00:00-07:00 E6-11209 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-17/pdf/E6-11209.pdf https://regulations.justia.com/regulations/fedreg/2006/07/17/E6-11208.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change Relating to the Regulation of Compensation, Fees, and Expenses in Public Offerings of Real Estate Investments Trusts and Direct Participation Programs 2006-07-17T00:00:00-07:00 2006-07-17T00:00:00-07:00 E6-11208 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-17/pdf/E6-11208.pdf https://regulations.justia.com/regulations/fedreg/2006/07/17/E6-11207.html Notice - Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Description of the ACES Communications Service 2006-07-17T00:00:00-07:00 2006-07-17T00:00:00-07:00 E6-11207 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-17/pdf/E6-11207.pdf https://regulations.justia.com/regulations/fedreg/2006/07/17/E6-11204.html Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Short Term Option Series Pilot Program 2006-07-17T00:00:00-07:00 2006-07-17T00:00:00-07:00 E6-11204 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-17/pdf/E6-11204.pdf https://regulations.justia.com/regulations/fedreg/2006/07/14/06-6249.html Notice - Sunshine Act; Notice of Meeting 2006-07-14T00:00:00-07:00 2006-07-14T00:00:00-07:00 06-6249 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-14/pdf/06-6249.pdf https://regulations.justia.com/regulations/fedreg/2006/07/13/E6-11031.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendments No. 1 and 2 Thereto Relating to Interim Members 2006-07-13T00:00:00-07:00 2006-07-13T00:00:00-07:00 E6-11031 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-13/pdf/E6-11031.pdf https://regulations.justia.com/regulations/fedreg/2006/07/13/E6-11004.html Notice - Self-Regulatory Organization; Chicago Stock Exchange, Inc.; Order Approving Proposed Rule Change Amending a Notice Provision Relating to the Renewal of Trading Permits 2006-07-13T00:00:00-07:00 2006-07-13T00:00:00-07:00 E6-11004 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-13/pdf/E6-11004.pdf https://regulations.justia.com/regulations/fedreg/2006/07/13/E6-11002.html Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendments No. 2 and 3 Thereto To Permit the Listing and Trading of Quarterly Options Series 2006-07-13T00:00:00-07:00 2006-07-13T00:00:00-07:00 E6-11002 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-13/pdf/E6-11002.pdf https://regulations.justia.com/regulations/fedreg/2006/07/13/06-6136.html Rule - Joint Final Rules: Application of the Definition of Narrow-Based Security Index to Debt Securities Indexes and Security Futures on Debt Securities 2006-07-13T00:00:00-07:00 2006-07-13T00:00:00-07:00 06-6136 Rule http://www.gpo.gov/fdsys/pkg/FR-2006-07-13/pdf/06-6136.pdf https://regulations.justia.com/regulations/fedreg/2006/07/12/E6-10923.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving a Proposed Rule Change and Amendments No. 1 and 2 Regarding the Nasdaq Crossing Network 2006-07-12T00:00:00-07:00 2006-07-12T00:00:00-07:00 E6-10923 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-12/pdf/E6-10923.pdf https://regulations.justia.com/regulations/fedreg/2006/07/12/E6-10922.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Changes to the Minimum Activity Charge 2006-07-12T00:00:00-07:00 2006-07-12T00:00:00-07:00 E6-10922 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-12/pdf/E6-10922.pdf https://regulations.justia.com/regulations/fedreg/2006/07/12/E6-10921.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 2 Thereto Relating to the Member Firm Guarantee for FLEX Equity Options 2006-07-12T00:00:00-07:00 2006-07-12T00:00:00-07:00 E6-10921 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-12/pdf/E6-10921.pdf https://regulations.justia.com/regulations/fedreg/2006/07/12/06-6162.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Order Approving Proposed Rule Change Relating to Participant Fees and Credits 2006-07-12T00:00:00-07:00 2006-07-12T00:00:00-07:00 06-6162 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-12/pdf/06-6162.pdf https://regulations.justia.com/regulations/fedreg/2006/07/12/06-6137.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving a Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 4 to the Proposed Rule Change Relating to Disclosure of Fees and Expenses in Mutual Fund Performance Sales Material 2006-07-12T00:00:00-07:00 2006-07-12T00:00:00-07:00 06-6137 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-12/pdf/06-6137.pdf https://regulations.justia.com/regulations/fedreg/2006/07/11/E6-10788.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving Proposed Rule Change and Amendment No. 1 Thereto Regarding Transfer of Designated Primary Market Maker Appointments 2006-07-11T00:00:00-07:00 2006-07-11T00:00:00-07:00 E6-10788 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-11/pdf/E6-10788.pdf https://regulations.justia.com/regulations/fedreg/2006/07/11/E6-10787.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 10.1 (Disciplinary Jurisdiction) 2006-07-11T00:00:00-07:00 2006-07-11T00:00:00-07:00 E6-10787 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-11/pdf/E6-10787.pdf https://regulations.justia.com/regulations/fedreg/2006/07/11/E6-10762.html Notice - Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval To a Proposed Rule Change and Amendment No. 1 Thereto Relating to a Retroactive Suspension of Transaction Charges for Specialist Orders in the Nasdaq-100 Tracking Stock® (QQQQ) 2006-07-11T00:00:00-07:00 2006-07-11T00:00:00-07:00 E6-10762 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-11/pdf/E6-10762.pdf https://regulations.justia.com/regulations/fedreg/2006/07/11/06-6148.html Notice - Notice of Sunshine Act Meetings 2006-07-11T00:00:00-07:00 2006-07-11T00:00:00-07:00 06-6148 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-11/pdf/06-6148.pdf https://regulations.justia.com/regulations/fedreg/2006/07/10/E6-10722.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Surcharge for Clearing Member Subscribers That Have Not Met the Mandated Conversion Date for Data Distribution Service 2006-07-10T00:00:00-07:00 2006-07-10T00:00:00-07:00 E6-10722 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-10/pdf/E6-10722.pdf https://regulations.justia.com/regulations/fedreg/2006/07/10/E6-10721.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Extend the Effective Date of a Previous Rule Change Relating to Information Contained in a Directed Order on the Boston Options Exchange 2006-07-10T00:00:00-07:00 2006-07-10T00:00:00-07:00 E6-10721 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-10/pdf/E6-10721.pdf https://regulations.justia.com/regulations/fedreg/2006/07/10/E6-10720.html Notice - Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to a Surcharge for Non-Clearing Member Subscribers That Have Not Met a Mandated Conversion Date for Data Distribution Service 2006-07-10T00:00:00-07:00 2006-07-10T00:00:00-07:00 E6-10720 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-10/pdf/E6-10720.pdf https://regulations.justia.com/regulations/fedreg/2006/07/10/E6-10719.html Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Directed Orders System Change 2006-07-10T00:00:00-07:00 2006-07-10T00:00:00-07:00 E6-10719 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-10/pdf/E6-10719.pdf https://regulations.justia.com/regulations/fedreg/2006/07/10/E6-10718.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Granting Approval of Proposed Rule Change and Amendment Nos. 1, 2, and 3 Thereto, and Notice of Filing and Order Granting Accelerated Approval of Amendment No. 4 to the Proposed Rule Change, to Adopt NASD Rule 2441 to Require Disclosure and Consent When Trading on a Net Basis With Customers 2006-07-10T00:00:00-07:00 2006-07-10T00:00:00-07:00 E6-10718 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-10/pdf/E6-10718.pdf https://regulations.justia.com/regulations/fedreg/2006/07/10/E6-10717.html Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 3 Thereto Relating to the Criteria for Securities That Underlie Options Traded on the Exchange 2006-07-10T00:00:00-07:00 2006-07-10T00:00:00-07:00 E6-10717 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-10/pdf/E6-10717.pdf https://regulations.justia.com/regulations/fedreg/2006/07/10/E6-10716.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change To Lower the Minimum Display Size Requirement for Specialists To Maintain Undisplayed Reserve Interest at the Exchange Best Bid or Offer in the NYSE Hybrid Market 2006-07-10T00:00:00-07:00 2006-07-10T00:00:00-07:00 E6-10716 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-10/pdf/E6-10716.pdf https://regulations.justia.com/regulations/fedreg/2006/07/10/E6-10714.html Notice - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend the CHX Holdings, Inc. Certificate of Incorporation 2006-07-10T00:00:00-07:00 2006-07-10T00:00:00-07:00 E6-10714 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-10/pdf/E6-10714.pdf https://regulations.justia.com/regulations/fedreg/2006/07/10/E6-10713.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate Its Current General Revenue Sharing Program Under NASD Rule 7010(u) and To Adopt a Revenue Sharing Program Limited to Transactions in Nasdaq-Listed Securities Reported to the Trade Reporting Service of the Nasdaq Market Center 2006-07-10T00:00:00-07:00 2006-07-10T00:00:00-07:00 E6-10713 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-10/pdf/E6-10713.pdf https://regulations.justia.com/regulations/fedreg/2006/07/10/E6-10712.html Notice - Order Modifying a Condition to Operation as a National Securities Exchange of the Nasdaq Stock Market LLC 2006-07-10T00:00:00-07:00 2006-07-10T00:00:00-07:00 E6-10712 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-10/pdf/E6-10712.pdf https://regulations.justia.com/regulations/fedreg/2006/07/10/E6-10685.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc., Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Requiring ETP Holders To Participate in the Federal Trade Commission's National Do-Not-Call Registry 2006-07-10T00:00:00-07:00 2006-07-10T00:00:00-07:00 E6-10685 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-10/pdf/E6-10685.pdf https://regulations.justia.com/regulations/fedreg/2006/07/10/E6-10684.html Notice - Self-Regulatory Organizations; America Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Extension of the Pilot Period Applicable to the Listing and Trading of Options on the iShares MSCI Emerging Markets Index 2006-07-10T00:00:00-07:00 2006-07-10T00:00:00-07:00 E6-10684 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-10/pdf/E6-10684.pdf https://regulations.justia.com/regulations/fedreg/2006/07/10/E6-10683.html Notice - Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 2006-07-10T00:00:00-07:00 2006-07-10T00:00:00-07:00 E6-10683 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-10/pdf/E6-10683.pdf https://regulations.justia.com/regulations/fedreg/2006/07/10/E6-10682.html Notice - Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing of Proposed Rule Change, and Amendment No. 1 Thereto, To Increase the Linkage Inbound Principal Order Fee 2006-07-10T00:00:00-07:00 2006-07-10T00:00:00-07:00 E6-10682 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-10/pdf/E6-10682.pdf https://regulations.justia.com/regulations/fedreg/2006/07/10/E6-10681.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc., Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Requiring OTP Holders and OTP Firms To Participate in the Federal Trade Commission's National Do-Not-Call Registry 2006-07-10T00:00:00-07:00 2006-07-10T00:00:00-07:00 E6-10681 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-10/pdf/E6-10681.pdf https://regulations.justia.com/regulations/fedreg/2006/07/10/06-6083.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Order Approving Proposed Rule Change and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 1 Relating to Amendments to the NASD's Rules Following the Nasdaq Exchange's Operation as a National Securities Exchange for Nasdaq UTP Plan Securities 2006-07-10T00:00:00-07:00 2006-07-10T00:00:00-07:00 06-6083 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-10/pdf/06-6083.pdf https://regulations.justia.com/regulations/fedreg/2006/07/10/06-6065.html Notice - Proposed Collection; Comment Request 2006-07-10T00:00:00-07:00 2006-07-10T00:00:00-07:00 06-6065 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-10/pdf/06-6065.pdf https://regulations.justia.com/regulations/fedreg/2006/07/10/06-6038.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments No. 1, 2, 3 and 4 Thereto To Create the Nasdaq Global Select Market and Rename the Nasdaq National Market 2006-07-10T00:00:00-07:00 2006-07-10T00:00:00-07:00 06-6038 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-10/pdf/06-6038.pdf https://regulations.justia.com/regulations/fedreg/2006/07/07/E6-10639.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the One Week Option Series Pilot Program 2006-07-07T00:00:00-07:00 2006-07-07T00:00:00-07:00 E6-10639 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-07/pdf/E6-10639.pdf https://regulations.justia.com/regulations/fedreg/2006/07/07/E6-10638.html Notice - Submission for OMB Review; Comment Request 2006-07-07T00:00:00-07:00 2006-07-07T00:00:00-07:00 E6-10638 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-07/pdf/E6-10638.pdf https://regulations.justia.com/regulations/fedreg/2006/07/07/E6-10637.html Notice - Proposed Collection; Comment Request 2006-07-07T00:00:00-07:00 2006-07-07T00:00:00-07:00 E6-10637 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-07/pdf/E6-10637.pdf https://regulations.justia.com/regulations/fedreg/2006/07/07/06-6082.html Notice - In the Matter of AdZone Research, Inc.; Order of Suspension of Trading 2006-07-07T00:00:00-07:00 2006-07-07T00:00:00-07:00 06-6082 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-07/pdf/06-6082.pdf https://regulations.justia.com/regulations/fedreg/2006/07/06/E6-10535.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of Proposed Rule Change to Extend the Options Intermarket Linkage Fees Pilot Program 2006-07-06T00:00:00-07:00 2006-07-06T00:00:00-07:00 E6-10535 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-06/pdf/E6-10535.pdf https://regulations.justia.com/regulations/fedreg/2006/07/06/E6-10534.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Retroactively Credit Certain DPM Linkage-Related Transaction Fees 2006-07-06T00:00:00-07:00 2006-07-06T00:00:00-07:00 E6-10534 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-06/pdf/E6-10534.pdf https://regulations.justia.com/regulations/fedreg/2006/07/06/E6-10533.html Notice - Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend a Pilot Program That Allows for No Minimum Size Order Requirement for the Price Improvement Period Process on the Boston Options Exchange 2006-07-06T00:00:00-07:00 2006-07-06T00:00:00-07:00 E6-10533 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-06/pdf/E6-10533.pdf https://regulations.justia.com/regulations/fedreg/2006/07/06/E6-10532.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Order Granting Approval of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to the Exchange's Obvious Error Rule 2006-07-06T00:00:00-07:00 2006-07-06T00:00:00-07:00 E6-10532 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-06/pdf/E6-10532.pdf https://regulations.justia.com/regulations/fedreg/2006/07/06/E6-10531.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Amendment of NASD Interpretive Material 2210-4 To Require Certain Member Firms To Provide a Hyperlink to the NASD's Internet Home Page 2006-07-06T00:00:00-07:00 2006-07-06T00:00:00-07:00 E6-10531 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-06/pdf/E6-10531.pdf https://regulations.justia.com/regulations/fedreg/2006/07/06/E6-10530.html Notice - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend CBOE Rule 8.7 Relating to Bid/Ask Differentials 2006-07-06T00:00:00-07:00 2006-07-06T00:00:00-07:00 E6-10530 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-06/pdf/E6-10530.pdf https://regulations.justia.com/regulations/fedreg/2006/07/06/E6-10493.html Notice - Order Pursuant to Section 11A of the Securities Exchange Act of 1934 and Rule 608(e) Thereunder Extending a De Minimis Exemption for Transactions in Certain Exchange-Traded Funds From the Trade-Through Provisions of the Intermarket Trading System 2006-07-06T00:00:00-07:00 2006-07-06T00:00:00-07:00 E6-10493 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-06/pdf/E6-10493.pdf https://regulations.justia.com/regulations/fedreg/2006/07/06/E6-10491.html Notice - Proposed Collection; Comment Request 2006-07-06T00:00:00-07:00 2006-07-06T00:00:00-07:00 E6-10491 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-06/pdf/E6-10491.pdf https://regulations.justia.com/regulations/fedreg/2006/07/06/06-5961.html Notice - Self-Regulatory Organizations; National Stock Exchange; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Amend Its Trading Rules To Provide for a Strict Price-Time Priority Market and Other Related Changes 2006-07-06T00:00:00-07:00 2006-07-06T00:00:00-07:00 06-5961 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-06/pdf/06-5961.pdf https://regulations.justia.com/regulations/fedreg/2006/07/05/E6-10436.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Amendment Nos. 4 and 5 to the Proposed Rule Change Relating to the Release of Information Through NASD BrokerCheck 2006-07-05T00:00:00-07:00 2006-07-05T00:00:00-07:00 E6-10436 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-05/pdf/E6-10436.pdf https://regulations.justia.com/regulations/fedreg/2006/07/05/E6-10434.html Notice - Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Amend the Safe Harbor for Business Expansions 2006-07-05T00:00:00-07:00 2006-07-05T00:00:00-07:00 E6-10434 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-05/pdf/E6-10434.pdf https://regulations.justia.com/regulations/fedreg/2006/07/05/E6-10433.html Notice - Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Order Approving an Extension of Temporary Registration as a Clearing Agency 2006-07-05T00:00:00-07:00 2006-07-05T00:00:00-07:00 E6-10433 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-05/pdf/E6-10433.pdf https://regulations.justia.com/regulations/fedreg/2006/07/05/E6-10416.html Notice - Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of a Pilot Program Concerning Split Price Priority in Open Outcry 2006-07-05T00:00:00-07:00 2006-07-05T00:00:00-07:00 E6-10416 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-05/pdf/E6-10416.pdf https://regulations.justia.com/regulations/fedreg/2006/07/05/E6-10414.html Notice - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change Relating to the NYSE Retail Trading Product and the NYSE Program Trading Product 2006-07-05T00:00:00-07:00 2006-07-05T00:00:00-07:00 E6-10414 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-05/pdf/E6-10414.pdf https://regulations.justia.com/regulations/fedreg/2006/07/03/E6-10338.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Trading of Shares of Six Currency Trusts Pursuant to Unlisted Trading Privileges 2006-07-03T00:00:00-07:00 2006-07-03T00:00:00-07:00 E6-10338 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-03/pdf/E6-10338.pdf https://regulations.justia.com/regulations/fedreg/2006/07/03/E6-10335.html Notice - Self-Regulatory Organizations; Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.); Notice of Filing of a Proposed Rule Change and Amendment Nos. 1 and 2 Thereto and Order Granting Partial Accelerated Approval Relating to Trading Shares of the Funds of the ProShares Trust Pursuant to Unlisted Trading Privileges 2006-07-03T00:00:00-07:00 2006-07-03T00:00:00-07:00 E6-10335 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-03/pdf/E6-10335.pdf https://regulations.justia.com/regulations/fedreg/2006/07/03/E6-10334.html Notice - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Extending the Time Period by Which the Exchange Will Amend the NASD-PCX Agreement Pursuant to Rule 17d-2 2006-07-03T00:00:00-07:00 2006-07-03T00:00:00-07:00 E6-10334 Notice http://www.gpo.gov/fdsys/pkg/FR-2006-07-03/pdf/E6-10334.pdf